Implementation Studies: Time for a Revival? Personal Reflections on 20 Years of Implementation Studies

This paper presents a review of three decades of implementation studies and is constructed in the form of a personal reflection. The paper begins with a reflection upon the context within which the book Policy and Action was written, a time when both governments and policy analysts were endeavouring to systematize and improve the public decision-making process and to place such decision-making within a more strategic framework. The review ends with a discussion about how public policy planning has changed in the light of public services reform strategies. It is suggested that as a result of such reforms, interest in the processes of implementation have perhaps been superseded by a focus upon change management and performance targets. It is further argued that this has resulted in the reassertion of normative, top-down processes of policy implementation. The paper raises points that are important ones and indeed are reflected throughout all four papers in the symposium issue. These are: (1) the very real analytical difficulties of understanding the role of bureaucratic discretion and motivation; (2) the problem of evaluating policy outcomes; and (3) the need to also focus upon micro political processes that occur in public services organizations. In conclusion, the paper emphasizes the continued importance of implementation studies and the need for policy analysts to understand what actually happens at policy recipient level.     

PARALLEL STRUCTURES IN THE EGYPTIAN GOVERNMENT BUREAUCRACY: A PROBLEMATIC QUICK FIX

This paper investigates the proliferation of parallel structures – also known as project implementation units (PIUs) and technical offices (TOs) – within the Egyptian public administration system and the pressures since the 1990s that have led to their increasing numbers, including the current political turmoil. To determine whether these structures are a viable tool for the implementation of reform in Egypt, the paper examines international experience, analyses the literature, and assesses the results of a brief survey of staff working in the traditional bureaucracy and those in parallel structures. The paper concludes that while PIUs may sometimes be necessary for initiating reform in the short term, long term sustainable reform requires genuine commitment of both donor and recipient governments to improve governance, build capacity within the traditional national institutions, apply performance management with a focus on policy impacts, and adopt alternative mechanisms in implementing development projects such as general budget support.     

Big Windows and Little Windows: Implementation in the 'Congested State'

This paper argues for the need to re-assess models of policy implementation in the 'congested state'. This re-appraisal focuses on two main directions. The first involves locating implementation in the context of wider models of the policy process. We fuse three models, those of Kingdon, Wolman, and Challis et al ., to form a new 'policy streams' approach. The second examines implementation in multi-level governance. In the UK and elsewhere, much of the focus of traditional implementation studies has been on the link between one central government department and a local agency. However, this vertical (central-local) dimension fails to give sufficient stress to the other horizontal dimensions of 'central-central' and 'local-local'. Paraphrasing Kingdon's terms, implementation models also need to incorporate the 'little windows' at local level as well as the 'big' windows at national level. Using evidence relating to the implementation of UK policy towards health inequalities, this paper argues successful implementation is more likely when the three policy streams are linked across the three dimensions. The model is thought to be applicable to other areas of the public sectors and complex issues facing all governments.     

From extractivism towards buen vivir: mining policy as an indicator of a new development paradigm prioritising the environment

This article analyses mining policy as an indicator of a larger question: are some Third World governments starting to steer away from plunder ‘extractivism’ towards a paradigm that prioritises the environment? We begin with the cases of El Salvador and Costa Rica, which have major mining bans in place. We then present the results of our research in which we find five other countries with noteworthy mining-policy shifts: Panama, Colombia, Argentina, Chile, and New Zealand. A sixth country, Honduras under President Zelaya, stands as a recent historical case of how sensitive such a policy change can be. A key take-away from our article is that critical development scholars and practitioners need to look more closely at the mining sector – not simply to analyse case studies of specific mining protests and resistances to extractivism, although these are of course important. Rather, there is a need to investigate policy changes that just might be indications that the era of unquestioning extractivism has ended and that at least some governments are initiating policies to incorporate environmental externalities, policies that suggest a changing development paradigm in the direction of environmental – and concomitant social and economic – ‘well-being’ as envisioned in buen vivir.     

MANAGING CULTURAL POLICY: PITFALLS AND PROSPECTS

Cultural policies have become increasingly used by governments to fulfil a large number of policy requirements. The extent to which such policies are capable of being effective in fulfilling governmental goals is open to doubt since there are considerable definitional, methodological, analytical and structural difficulties associated with such policies. This paper identifies and analyses these difficulties and indicates that considerable pitfalls lie in the way of attempts to develop, manage and implement effective cultural policies.     

Understanding resource nationalism: economic dynamics and political institutions

Resource nationalism is on the rise around the globe. During the recent global resource boom, many governments have adopted nationalistic policies to maximise the political and economic benefits from their mining and energy sectors. Existing theories of resource nationalism rely upon economistic bargaining models, which fail to interrogate how political processes shape governments’ resource policy strategies. This article extends and develops these bargaining models by theorising the role of political institutions – specifically those found in rentier, developing and liberal market economies – in determining patterns of resource nationalism. A survey of 12 major resource-producing countries reveals that contemporary resource nationalism takes a range of distinct forms, which are connected to differences in political institutions that structure the objectives and policies of governments. It is therefore argued that while economic dynamics function as an enabling factor, political institutions are an equally important conditioning factor shaping the distinctive forms of resource nationalism observed today.     

PERFORMANCE MEASUREMENT IN SPANISH LOCAL GOVERNMENTS. A CROSS‐CASE COMPARISON STUDY

This paper explores local government in Spain: the nature of and extent to which performance measures are developed and how they are used in some of the biggest Spanish local governments. The features of performance measurement in Spain raise the question of why non‐mandatory performance indicators are introduced and why specific initiatives are undertaken. A cross‐theory strategy allows us to build a wider explanation of the cases studied. This study shows that performance measurement systems are not neutral but conditioned by the environmental context of each local government to fit into its organizational structure. Spanish local governments are experimenting with different approaches – centralized/decentralized, top‐down/bottom‐up, internal/external use – to implement performance measures. A relationship between external use and the top‐down approach, and internal use and the bottom‐up approach can be found. Our results also show that the institutional image value of taking decisions under rational decision‐making models is the primary driver of implementation processes.     

Organizational Trust and Accountability Reforms in Public Management: Analysis of Inter-agency Implementation Relations in Kenya

Contemporary governments have persistently responded to accruing implementation blind-spots by further restructuration of public bureaucracies. This has come with increased agencification and coordination efforts to enhance organizational efficacy and to produce trust for legitimation purposes. Accountability reforms in particular rarely address non-formal implementation processes that seem to characterize these efforts, mainly, inter-organizational trust. This is despite mounting evidences on the centrality of organizational trust in collaborative implementation processes of policy reforms. Basing on qualitative data from Kenya, this paper explores the production of organizational trust and its influence on the implementation environments for accountability reforms between oversight and governmental institutions. Data indicate that common difficulties in collaborative-implementation framework like fragile horizontal accountability-relations, misinterpretations of authority, obsession with control and autonomy, poor organizational-communication mechanisms, public trust deficits, poor internalization and institutionalization, etc. also correspond to problems of organizational trust. So, it is suggested that besides building public and interpersonnel trust, a policy design should also device steps that can strengthen internal-accountability systems, reduce some forms of bureaucratic slackness, enhance interorganizational communication and justice systems. This should improve inter-agency trust and ease cultural-instrumental tensions typical in collaborative implementation relations common in modern public administration.     

Institutions,interests, and policy support: Experimental evidence from China

Policy support matters for the success of public policies. It is still unclear how governments can garner support for policies with high costs. Using a conjoint experiment in China, we demonstrate that governments can encourage policy support by offering institutional services and material interests to policy targets. In particular, citizens become more willing to support policies when governments timely disclose policy information and respond to and incorporate their voices in the policy design. Government subsidies in both the short and long runs also increase citizens' policy support. In addition, government transparency and long-run subsidies are complementary to enhancing policy support; the role of institutions is strengthened when citizens are exposed to severe policy problems.     

Do consistent government policies lead to greater meaningfulness and legitimacy on the front line?

We investigate the impact of policy consistency on frontline workers’ perceptions of policy meaningfulness and legitimacy. The results from an experiment involving 779 teachers indicate that policy consistency does have a positive effect on legitimacy and to a lesser extent on meaningfulness. However, the extent depends on policy content and the degree of autonomy. Overall, our findings emphasize the potential positive impact of policy consistency. Although this, to some extent, conflicts with the nature of political decision‐ and policy‐making (i.e., democratically elected governments have been mandated to change policy), our study suggests that policy consistency could be a valuable strategy for governments to strengthen successful policy implementation. This adds a new perspective to the continuing debate within policy implementation and street‐level bureaucracy research on how to account for the complex, messy and sometimes contradictory implementation of public policies.     

Land reform in the shadow of the state: The implementation of new land laws in Sub-Saharan Africa

The importance of effective implementation of new land laws and the difficulties associated with it are alluded to in almost every recent piece of writing on African land reform. However, the process of implementation has remained neglected and little theorised. Drawing on a body of political science and policy studies literature which considers implementation and the difficulties to which it gives rise, this paper will attempt to advance a critical approach to the role of law in altering land relations in Africa. It will use the experiences of Tanzania, Uganda and South Africa to illustrate that, while some barriers to implementation are easily identified, and therefore receive relatively more attention, there are other important factors which might hamper attempts to change land relations. It is usual to understand land reform as direct state intervention in property relations. However, this paper will argue that the capacity of the state in Africa to carry out land reform is severely limited. The paper therefore attempts to identify an altogether different set of actors in the reform process. Its starting point will be the observation that land reform may take place less as a result of direct state action and more as a consequence of the actions of private individuals within the state.     

Governance,federalism and organizing institutions to manage complex problems

In managing complex policy problems in the federal system, state and local governments are organized into different arrangements for translating policy goals into policy outcomes. Air quality management is used as a test case to understand these variations and their impact on policy outcomes. With data from Clean Air Act implementation plans and a survey of state and local air quality managers, five separate institutional designs are identified: (1) central agencies; (2) top-down; (3) donor–recipient; (4) regional agencies; and (5) emergent governance. Findings indicate that some arrangements (donor–recipient and emergent governance) result in notably better air quality than others (central agencies, top-down). Specifically, when designed to allow bargaining between state and local officials, intergovernmental management is still the most effective approach to complex policy problems; but, in absence of this, conventional federalism arrangements are less effective than public agencies self-organizing around shared policy goals.     

Resource powers? Minerals,energy and the rise of the BRICS

The rise of new economic powers has seen increasing attention focused on the international role of the BRICS countries. Importantly, a common feature uniting the BRICS is that they are all resource-rich, and many analysts (and some BRICS governments) have argued that natural resources are one of the key factors propelling the rise of the group. This article explores the BRICS’ emerging status as ‘resource powers’, examining how resource wealth underpins their economic development and foreign policy strategies, and thus contributes to their growing influence in international affairs. It is argued that through the use of nationalistic mining and energy policies, the BRICS governments have exploited natural resources for both domestic economic and international diplomatic objectives. However, there are several challenges and emerging risks facing the BRICS’ resource strategies, which mean that resource wealth is making a positive – though inherently limited – contribution to the growing international status of the group.     

NATIONAL AGENCIES IN THE EUROPEAN ADMINISTRATIVE SPACE: GOVERNMENT DRIVEN,COMMISSION DRIVEN OR NETWORKED?

In terms of national agencies in the European administrative space, case studies indicate that national governments may be partly split so that national (regulatory) agencies operate in a ‘double‐hatted’ manner when practising EU legislation, serving both ministerial departments and the European Commission. Applying large‐N questionnaire data, this article follows up these studies by investigating how important various institutions are with respect to influencing national agencies when they are practising EU legislation. How discretion is exercised at this stage of the policy process is not trivial; we demonstrate that, in addition, this activity is highly contested. Our main conclusion is that implementation of EU policies at the national level is neither solely indirect via national governments (as the standard portrayal says), nor solely direct (through Commission‐driven national agencies), nor solely networked (through transnational agency clusters). Implementation is instead compound with several sources of power represented more or less simultaneously.     

Terrorist incident management and jurisdictional issues: A Canadian perspective

This article briefly outlines the organization and procedures that have evolved at the federal level of the government of Canada for the handling and management of crises relating to internal security. Organization of policy formation and organization for crisis management are discussed. Jurisdictional difficulties between the federal and provincial governments are analyzed. The basic policy framework is to deal with terrorist incidents by refusal to yield to the demands of hostage takers, without precluding the granting of minor concessions, limited in scope to the immediate place and time of the incident. Unresolved policy issues are listed.     

Local revenue structure under economic hardship: reliance on alternative revenue sources in California counties

This article investigates how a worsening economy affects local revenue structure, and whether the impact is moderated by the fiscal relationship within higher levels of government. The revenue potential of nontax sources – fees/charges and fines/forfeitures – is considerable for local governments under economic hardship. With the panel data from California counties over a period of 11 years (2000–2010), this article shows that reliance on nontax revenue largely depends on the economic and fiscal factors that vary across counties, and the effect of economy is contingent on local dependence on intergovernmental transfers. Counties are likely to raise nontax revenue when the economy worsens and their transfer-dependence increases, while the marginal effect of the economic indicators changes from negative to positive as transfer dependence increases. This article illuminates the characteristics of the two types of nontax sources in terms of the mechanisms of incentivising human behaviour and concludes with policy implications for researchers and practitioners.     

A Model of Learned Implementation

The majority of the literature concerning the implementation of public policy assumes that public managers can carry out new policy initiatives regardless of the behavioural, cognitive or technical demands that the introduction of such policies may make upon them. There has been a tendency to assume that managers actually have the detailed technical knowledge by which to enact such new policies. The paper proposes that in effect, public managers have to learn a range of often new and detailed techniques in order to implement what are often ambiguous policy directives. Drawing on data gathered from the introduction of capital investment appraisal in the British National Health Service, a model of Learned Implementation is presented that describes one way in which public managers can learn to enact new policy initiatives. Using a mix of six organizational processes and variables, the model demonstrates how learning occurs and is used to solve the problems that are inherent in the introduction of new policy initiatives. The model further describes how the managers routinize these solutions into job tasks and procedures and hence a policy initiative is operationalized. The paper concludes with a discussion about the difficulties of predicting the operational consequences of new policy initiatives and raises questions about knowledge, ability and capability in the implementation of public policy.     

The Impact of SWAps on Health Aid Displacement of Domestic Health Expenditure

Recent research suggests that an additional $1 of health aid would displace – or crowd out – nearly the same amount in a recipient government’s own health expenditure. Implementing a Sector Wide Approach (SWAp) may exacerbate crowding out because recipient governments should face fewer constraints when allocating health aid. This paper uses rigorous panel data methods to investigate this hypothesised effect of SWAps. We find that SWAps provide not an exacerbating but a potentially protective effect, reducing displacement of government health expenditure. This suggests some aid dollars are more fungible than others, and the mechanism for aid delivery makes a difference.     

A VERY PUBLIC SEARCH FOR PUBLIC VALUE: ‘RHETORICAL SECRETARIES' IN WESTMINSTER JURISDICTIONS

Senior bureaucrats in central agencies in Westminster jurisdictions frequently give keynote speeches as a part of their official function. What are these administrative leaders talking about, and to whom, and why does it matter? This paper will seek to answer those questions through the lens of public value theory by considering whether ‘public rhetorical leadership’ by senior bureaucrats is a legitimate contribution to the search for public value, and what challenges such behaviour may present to good governance. The speeches of senior bureaucrats in four Westminster jurisdictions – Australia, Canada, New Zealand and the United Kingdom – are examined as examples of how bureaucratic ‘public rhetorical leadership’ is currently being exercised. The paper concludes that the way in which senior bureaucrats exercise their rhetorical power can have significant implications for the implementation of policy, and for questions of bureaucratic accountability.